Yancy D. Spivey
Professional summary
Yancy Dwayne Spivey, who also goes by Yancy Dwayne Spivey, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Duncan, Oklahoma and CETERA WEALTH SERVICES, LLC located in Duncan, Oklahoma.
Yancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Yancy has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Yancy Dwayne Spivey's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 728 W Main St, Duncan, OK 73533April 20, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 728 W Main St, Duncan, OK 73533April 20, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
October 18, 2018 - April 20, 2022
FFEC WEALTH PARTNERS LLC
October 18, 2018 - April 20, 2022
FFEC WEALTH PARTNERS LLC
July 28, 2017 - November 15, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 28, 2017 - November 15, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 3, 2012 - August 1, 2017
EDWARD JONES
July 23, 2012 - August 1, 2017
EDWARD JONES
February 7, 2008 - April 16, 2012
ARVEST WEALTH MANAGEMENT
November 21, 2007 - April 16, 2012
ARVEST WEALTH MANAGEMENT
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
